Joseph P. Lucia & Associates, LLC

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Client assets under management

$388,002,041

Clients

662

15% high-net worth

Advisors

of 5 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

221

Very High

Average account size

$586,106

About

Joseph P. Lucia & Associates provides wealth management to individuals — including high net worth clients — and small businesses, combining portfolio management with financial planning, insurance planning, and estate planning. The firm offers discretionary portfolio management, standalone financial planning and ongoing consulting retainers, and may recommend third-party money managers when appropriate.

The firm states it tailors strategies based on client suitability information and monitors portfolios regularly, reporting performance quarterly while reviewing accounts at least annually. Its investment menu and permitted strategies are broad, encompassing mutual funds and ETFs as well as options, short sales, margin, futures, REITs and limited partnerships, and the firm typically directs custody to a recommended qualified custodian.

Several operational features distinguish the firm from many peers: with roughly 662 clients and three advisors, the firm operates with an unusually high client-to-advisor ratio (well over 200 clients per advisor). Its advisory personnel also maintain broker-dealer and insurance registrations and the firm uses standing letters of authorization for certain transfers, arrangements the brochure identifies and discloses as potential conflicts of interest and custody considerations.

Client services

Financial planning Portfolio management Selection of other advisers

Expertise

Wealth management Active portfolio management Options & derivatives strategies Real estate investing

Fee options

Fixed

Financial planning services generally range from $500 to $10,000; consulting services fixed fees vary and generally range from $500 to $5,000 annually.

Percentage

$1 - $500,000: 1.50% $500,001 - $2,000,000: 1.25% $2,000,001 - $5,000,000: 1.00% $5,000,001 - $10,000,000: 0.85% Above $10,000,000+: 0.75%

Commissions

Commission-based compensation received by certain persons who are registered representatives and licensed insurance agents, separate from advisory fees.

Main office location

Joseph P. Lucia & Associates, LLC

3505 Hill Blvd., Suite J

Yorktown Heights NY 10598, United States

Number of offices

Most active in

Connecticut · Florida · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · South Carolina · Texas

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Website 914-352-6600

Advisors at this firm

Anthony P

Series 66

Yorktown Heights, NY

Joseph P. Lucia & Associates, LLC

Anthony Pagano is a financial advisor with Joseph P. Lucia & Associates, LLC, holding a Series 66 designation and over 21 years of industry experience. He has previously worked at Purshe Kaplan Sterling Investments, Client One Securities, LLC, and FSC Securities Corporation. Outside of his advisory role, he is also licensed to provide various insurance products. Joseph P. Lucia & Associates serves individuals, including high net worth clients, and small businesses by offering integrated wealth management services that encompass portfolio management, financial planning, insurance planning, and estate planning. The firm employs a client-suitability approach with ongoing monitoring and uses a combination of fundamental, technical, and cyclical analysis alongside both long-term and tactical trading strategies.

Wealth management Active portfolio management Options & derivatives strategies Real estate investing

Joseph L

Series 66

Yorktown Heights, NY

Joseph P. Lucia & Associates, LLC

Joseph Lucia is a financial advisor with Joseph P. Lucia & Associates, LLC, holding a Series 66 designation and bringing 23 years of industry experience. He has worked at Purshe Kaplan Sterling Investments and Great American Investors while leading his own firm since 2008. Lucia also engages in insurance and annuity business through Ash Brokerage. Joseph P. Lucia & Associates serves individuals, including high net worth clients, and small businesses with integrated wealth management services encompassing portfolio management, financial planning, insurance planning, and estate planning. The firm emphasizes client suitability in its investment strategies, utilizes both long-term and tactical techniques, and manages an unusually high client load relative to its size.

Wealth management Active portfolio management Options & derivatives strategies Real estate investing

John S

Series 63, Series 65

Yorktown Heights, NY

Joseph P. Lucia & Associates, LLC

John Sloan is a financial advisor at Joseph P. Lucia & Associates, LLC with Series 63 and Series 65 licenses and four years of industry experience. He has been with Joseph P. Lucia & Associates since 2008. Joseph P. Lucia & Associates serves individuals, including high net worth clients, and small businesses by providing integrated wealth management services such as portfolio management, financial planning, insurance planning, and estate planning. The firm uses a combination of fundamental, technical, and cyclical analysis with both long-term and tactical trading strategies, maintaining a high client-to-advisor ratio.

Wealth management Active portfolio management Options & derivatives strategies Real estate investing

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